As part of its mandate under the Dodd-Frank Act, the U.S. Securities and Exchange Commission is considering a change to the definition of an accredited investor. What the agency comes up with could have a big impact on who advisers can approach for alternative investment opportunities. Read More »

There were two firsts in recent days: the SEC charging an investment adviser with violations of “pay to play” rules and, separately, charging a hedge fund over retaliation against a whistleblower. These events and others show a heightened level of scrutiny of alternative investment managers. Read More »

News out of Thailand this week that consumer confidence rose for the first time in 14 months following the military coup last month doesn’t mean companies doing business there can return to normal operations. Read More »

It’s no surprise that companies where culture and business values are prioritized have more effective programs, but it is notable that companies where cost reduction and cash management are prioritized tend to be at the low end of the just-released PEI index. Read More »

A U.S. appeals court is currently considering a federal judge’s 2011 rejection of a proposed settlement of SEC fraud charges against Citigroup Inc. in which the bank did not have to admit wrongdoing. Read More »

About Risk & Compliance

Risk & Compliance provides news and commentary to corporate executives and others who need to understand, monitor and control the many risks that can tarnish brands, distract management and harm investors. Its content spans governance, risk and compliance and includes analysis of the significance of laws and regulations, the risks inherent in global expansion and the protective moves taken by companies.